Raymond James rolls out compliance platform

Raymond James Financial, a Florida-based diversified holdings company, is using SunGard's Protegent Surveillance in its traditional employee brokerage business to decentralise supervision at the branch level. It also uses Protegent within its independent contractor business, primarily to centralise supervision through its home office. According to SunGard, Protegent Surveillance is a compliance and surveillance platform for financial services institutions; it provides users with trade-based

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